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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-05-12
TX RA APPROVED 2023-05-12
  • CA RA
    APPROVED
    Since 2023-05-12
  • TX RA
    APPROVED
    Since 2023-05-12

Branch Locations

4655 Executive Dr Ste 300, San Diego, CA 92121-3123 • United States

San Diego, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc San Diego CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 05/2023
Ameriprise Financial Services, Llc San Diego CA 05/2023 Present
Previous Registrations
  • 2008-01-01 → 2023-05-19
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2004-05-24 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    San Diego, CA
    San Diego, CA
    St. Louis, MO
  • 2002-01-11 → 2004-05-24
    A. G. Edwards & Sons, Inc.
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-02
S63 Uniform Securities Agent State Law Examination 1986-06-13
  • S66 Uniform Combined State Law Examination
    2001-07-02
  • S63 Uniform Securities Agent State Law Examination
    1986-06-13
Other Names
  • Mark R Duval
  • Mark Richard Duval

View on SEC IAPD

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